SEC Form 4 · accession 0001249155-15-000014
S&W Seed Co · SANW
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Grover T Wickersham
Director
Period of report
May 4, 2015
Accepted (ET)
May 6, 2015 · 5:44 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001477246
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Class B Warrants (right to buy)F1,F2 | $11.00 | May 4, 2015 | E | 1,500 | D | Jun 14, 2010 | May 3, 2015 | Common Stock | 1,500 | 0 | I |
Explanation of responses
- F1The Class B Warrants that expired on May 3, 2015 were issued as a component of Units (each Unit consisting of two shares of Common Stock, one Class A Warrant and one Class B Warrant) in the Issuer's IPO. The Unit price for the 1,500 Units ranged between $10.40 and $10.42.
- F2The expired Class B Warrants that are the subject of this Form 4 were held in The 1999 Lindsay Anne Wickersham Irrevocable Trust, for which the reporting person serves as trustee. He disclaims beneficial ownership of all securities owned by the Trust for purposes of Section 16 and for all other purposes.